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Stand:updated on 05.01.2018 | Topic MVP Portal Transaction reports for buy-back programmes and stabilisation measures pursuant to Art. 5 MAR

Art. 5 of the EU-Market Abuse Regulation (MAR) in conjunction with Delegated Regulation (EU) No. 2016/1052 grants under certain conditions exemptions from the prohibitions of insider dealing and market manipulation (Art. 14, 15 MAR) for buy-back programmes and stabilisation measures. Part of these conditions are obligations to report transactions to the competent authorities.

Both for buy-back programmes (Art. 5, sec. 3 MAR and Art. 2, sec. 2 Regulation 2016/1052) and for stabilisation measures (Art. 5, sec. 5 MAR and Art. 6, sec. 4, 2nd sentence Regulation 2016/1052) each transaction shall be reported to the competent authority no later than by the end of the seventh daily market session following the date of the execution.

These reports can be transmitted to BaFin electronically. BaFin provides an electronic service on the MVP-Portal of its website.

Below you may find links to templates (Excel files) for download. These templates can be filled with the transaction reports and then be uploaded and transmitted by the service of the MVP-Portal.

Link to template for buyback reports starting from 3rd January 2018 in German and English

Link to template for stabilisation measure reports starting from 3rd January 2018 in German and Englisch

A file for transmission will only be accepted by the MVP-Portal, if its name conforms to the following convention:

„BUYB_ISIN_YYYY-MM-DD_YYYY-MM-DD“ for buy-backs and

„STAB_ISIN_YYYY-MM-DD_YYYY-MM-DD“ for stabilisation measures.

„ISIN“ has to be replaced by the actual ISIN of the financial instrument. The name of the file needs to continue with the date of the first and of the last transaction within this report.

Questions regarding transaction reports pursuant to Art. 5 MAR using the electronic transmission of the MVP-Portal may be addressed to:

E-Mail: WA23@bafin.de

Technical questions or problems may be addressed to the technical support:

E-Mail: mvp-support@bafin.de

Important: Please be aware that the electronic transmission of transaction reports for buy-backs and stabilisations is only possible after you have successfully applied to use the specific MVP service for buy-back programs and stabilisation measures. Insofar you need to fill out and sign the specific application form and send it together with the required documents described in the information brochure by regular mail to BaFin.

Di­rect­ly to MVP-Por­tal

Datenbanken (refer to: Directly to MVP-Portal)

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